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Richard Gerard Cardinali

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Richard Gerard Cardinali

Richard Cardinali is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Richard is active in both broker-dealer and investment advisory roles. Richard has been working in the financial industry since 1995. Richard is registered with the Securities and Exchange Commission (SEC) and FINRA. Richard holds the Series 63, 65, 7 and SIE licenses. Richard works in the Freehold, New Jersey office of Merrill Lynch, Pierce, Fenner & Smith Inc.. Richard has been associated with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2009 and has previously worked with BANC OF AMERICA INVESTMENT SERVICES, INC., QUICK & REILLY, INC., FLEET ENTERPRISES, INC., THE CONCORD EQUITY GROUP, LLC, FIRST CAMBRIDGE SECURITIES CORPORATION, TOLUCA PACIFIC SECURITIES CORP., and A.S. GOLDMEN & CO., INC..

Firm Information

Richard Cardinali is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Cardinali’s Registration & Firm History

NJ

01/06/2015 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (FREEHOLD NJ)

NJ

10/20/2004 - 10/23/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (ABERDEEN NJ)

NY

08/07/2000 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

NY

06/15/1998 - 08/07/2000

FLEET ENTERPRISES, INC. (NEW YORK NY)

NJ

06/17/1997 - 06/09/1998

THE CONCORD EQUITY GROUP, LLC (ISELIN NJ)

NY

06/27/1996 - 05/23/1997

FIRST CAMBRIDGE SECURITIES CORPORATION (NEW YORK NY)

CA

04/30/1996 - 07/23/1996

TOLUCA PACIFIC SECURITIES CORP. (BURBANK CA)

NJ

08/21/1995 - 05/02/1996

A.S. GOLDMEN & CO., INC. (RED BANK NJ)

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Licenses & Designations

IA

Issued 09/29/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/28/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/18/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Richard Gerard Cardinali. Review regulatory record here.
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